RCW Staff

This matter involves Respondent Rege’s mispricing of investments for a private fund for which he served as a portfolio manager, resulting in artificially inflated fund ...

RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...

SEC Obtains Final Judgments Against Founders of Real Estate Crowdfunding Portal Litigation Release No. 24536 / July 17, 2019 United States Securities and Exchange Commission ...

Salus never held any RAUM at any time, and had no reasonable expectation of having sufficient RAUM to qualify for registration. It also never advised ...

After the fund administrator discovered the unauthorized withdrawals, Byun, on behalf of Denali Investors, entered into an agreement with the fund administrator to repay the ...

Between January 22 and February 26, 2010, SHCP generated no less than $460,803.84 in trading revenue as an unregistered broker-dealer. Additionally, in March 2010, SHCM ...

School Services undertook the solicitation of municipal entities without being registered with the Commission. School Services’ emails and phone calls to school districts were “communications” ...

This matter involves a registered municipal advisor’s use of unregistered “solicitor” municipal advisors to solicit business from school districts in California. In 2010, Congress enacted ...

SEC Charges Unregistered Broker Who Sold Retail Investors Securities in the Woodbridge and 1 Global Fraudulent Schemes Litigation Release No. 24531 / July 15, 2019 ...

These proceedings arise out of Nomura’s failure reasonably to supervise two traders so as to prevent and detect their violations of antifraud provisions of the ...